Professional Documents
Culture Documents
Sergio Cárdenas
2008
This paper was commissioned by the Education for All Global Monitoring Report as
background information to assist in drafting the 2009 report. It has not been edited by the
team. The views and opinions expressed in this paper are those of the author(s) and should
not be attributed to the EFA Global Monitoring Report or to UNESCO. The papers can be
cited with the following reference: “Paper commissioned for the EFA Global Monitoring
Report 2009, Overcoming Inequality: why governance matters” For further information,
please contact efareport@unesco.org
School-based Management in Latin America
Sergio Cárdenas
2008
Abstract
For several years, school-based management (SBM) has been a popular
policies may have affected educational results is growing, little is known yet about
contexts. This paper describes some of the findings on both of these aspects as
1 Previous experiences in Argentina include the organization of school councils in 1988 in the province
of Buenos Aires, the “Escuelas Creativas” in Mendoza in the early 90’s (Gorostiaga and Pini, 2004)
and the “Nueva Escuela Argentina para el Siglo XXI” (Aguerrondo, Taddei and Lugo, n.d.).
Brazil
According to Santibañez (2006), SBM initiatives have been tested in “varying
forms and degrees” in Brazil since 1982. A relatively recent experience that has been
identified as SBM is the “Plano de Desenvolvimiento da Escola” or PDE, a program
that was created to facilitate the transformation of schools “from rigid and unfocused
bureaucracies to dynamic environments that maximize learning for all children”
(Amaral Sobrinho & de Almeida Neto (2001), in Carnoy et al., 2008).
PDE has been part of the “FUNDESCOLA Project”, a program launched in
1998 requesting schools to “identify their most serious problems and develop their
own plans for addressing these needs”, in order to obtain funds to implement their
school project (Carnoy, 2008). In addition, this program promoted the model of
“Escola Ativa" to improve the quality of instruction and learning in rural, multi-grade
schools (The World Bank, n.d.). An interesting aspect of the implementation of
FUNDESCOLA is that the activities promoted by this program have changed for
different cohorts of participant schools, particularly in the type of resources available
to schools. Indeed, this program has moved from the provision of school-based tools
in their first stages (including new instructional models) to “building the capacity of
local governments to support continuous improvement in schooling quality, and
promoting the financial, administrative, and managerial permanence of these reforms
through incentives and partnerships”, a shift that will presumably result in improved
school effectiveness given the support they will get from central educational
authorities.
As in other SBM experiences in Latin America, this program would purportedly
target rural and the neediest regions in Brazil (Schwartzman, 2005), but the effects of
this policy on the populations located in these regions have only been estimated very
recently (Santibañez, 2006). According to Carnoy et al. (2008), the “PDE resulted in
some improvements in management and learning materials, but little change in other
areas including evaluation and community relations.” These authors, however, “find
no evidence to show that participation in the PDE improved student achievement”,
although they identified “a positive relationship between PDE spending and student
gains, especially for spending on teaching and learning materials and furniture”.
Interestingly, they did not find a “benefit of electronics spending or spending on
teacher training, two of the three largest areas of investment” in PDE schools.
Ecuador
In the case of Ecuador, the “Redes Amigas” program included some of the
components associated with SBM. According to Ponce (2006), the main objective of
“Redes Amigas” is “to improve students’ cognitive achievement in the rural areas of
Ecuador through the decentralization of school management and community
participation”. Two particular aspects draw attention from the implementation of this
policy, when compared to other SBM initiatives in Latin America: that designers of
this policy considered as an explicit goal improving student achievement (at least in
its second implementation stage from 1999 to 2005); also, that resources for the
schools’ operation - though decentralized – have been administered by a “network
council” where teachers and parents of a group of “Redes Amigas” schools (12
schools on average) must make decisions about pedagogical issues and the use of
resources allocated to this network (in addition to teacher salaries) to be used in
professional development, educational materials, infrastructure, community
involvement and consulting services (Redes Amigas, n.d., in Ponce, 2006).
In order to participate in this program, schools should “be located in rural
areas”, “be registered at the Ministry of Education, as well as “apply to the program
and sign an agreement with the Ministry of Education” (Ponce, 2006). Regarding the
impact of this program, a quasi-experimental evaluation of “Redes Amigas” (Ponce,
2006) concluded that this program had an impact on student test scores, although no
effect was found in bilingual schools.
Guatemala
PRONADE or “Programa Nacional de Autogestión para el Desarrollo
Educativo” is a school-based management program with three basic objectives:
decentralize, increase community participation, and promote indigenous and
linguistic diversity (Di Gropello, 2006).
It is based on the operation of COEDUCA or “Comités Educativos”,
committees responsible for “paying school salaries, hiring, firing, monitoring and
evaluating staff, setting the school schedule and calendar, building and maintaining
school facilities, and providing budget oversight” (Santibañez, 2006). Although the
program was designed to “increase access in poor, rural, isolated areas” (Di
Gropello, 2006), in order to be eligible for PRONADE, communities must
demonstrate their ability and interest in managing a school, that no other school is
located nearby, and they must be able enroll at least 20 preschool and primary
school-age children.
About the impact of PRONADE, McEwan and Trowbridge (2007) point out that
“some evidence indicates that PRONADE schools provide greater time in the
classroom than standard public schools, and that rates of parental participation are
higher” (Anderson, 2003; Valerio and Rojas, 2003). Furthermore, a cost-effectiveness
analysis conducted by Schuh (2007), concludes that “based on the [completion rates
as] unit costs […], the cost per completer in PRONADE is approximately $1,245 per
student compared to $1,572 per student in the government schools. This difference
stems partially from the lower per student costs, but more significantly, from the
higher rate of completion in PRONADE schools”. Schuh’s finding may indeed confirm
results on internal efficiency reported in other evaluations of SBM experiences.
Haiti
Leroy (2002) describes that since 1995, the Minister of Education has
promoted the organization of “school-based management committees” to establish a
“formal partnership with the public and private stakeholders engaged in education”
and “democratize the work place, decentralize management, modernize the schools
and improve school-community relationships” (MENJ, 1995, in Leroy 2002).
Although it was assumed that schools would benefit from this decentralization
effort, according to this author, there were limited changes in the administration of
educational resources. Indeed, school principals “continued to have limited powers:
the curriculum is set by the central office, teachers may be nominated without their
consent, and the only funds they administer are a portion of the students’ modest
tuition” (Leroy, 2002). It has been reported, however, that in spite of the fact that
schools did not get the resources they should get, an increased parental involvement
in the operation of schools was determinant in improving the administration of
schools, given the “added support given by stakeholders” to school principals.
Honduras
In Honduras, the PROHECO or “Proyecto Hondureño de Educación
Comunitaria” is a school-based management program implemented with the goal of
“improv[ing] access to education and encourage community participation in
educational decision-making”, just like in other SBM programs observed in this
region.
In this program, the participatory organization is known as “AECO” or
Asociación Educativa Comunitaria”, and it has the following faculties: “selecting and
paying teachers, monitoring teacher and student attendance and performance,
managing funds for school materials and school improvement activities, and building
and maintaining the school” (Di Gropello, 2006).
Two aspects should be pointed out when comparing PROHECO with similar
experiences: the existence of “social promoters”, an intermediate authority between
the district and the PROHECO schools who provides advice and training to the
schools, as well as establishing the selection criteria. Regarding their targeting
population, according to Di Gropello (2006), “communities qualify for a PROHECO
school if they meet the following criteria: (1) they are located in a rural area, (2) there
are at least 25 pre-school and primary-school age children, (3) the nearest school is
at least 3 kilometers away, and (4) the village is located in an area that was affected
by hurricane Mitch (Secretaría de Educación Pública, 2003).”
Jamaica
The Primary Education Support Project (launched in 2001), is a
comprehensive educational plan that includes 14 different subcomponents. This
project “aims to contribute to the improved performance, efficiency and equity of the
primary education system” in Jamaica, and includes the “Lighthouse Schools
Project”, a project where 12 schools across the country will pilot a “school-based
governance” model.
According to the Ministry of Education, “the Lighthouse Schools will empower
teacher participation in collaborative school leadership, site management,
instructional innovation, and decision-making”. Schools would be selected through “a
competitive process”, and would receive grants from the central government to
implement their plans, along with technical support and training “to build the teams,
review intervention strategies to aid the management and teaching/learning
processes and to develop community/parental links”.
There are two distinctive characteristics in this program. The first is that each
of the schools selected in the first cohort of Lighthouse Schools will be responsible
for replicating this model in five additional schools, and the second is the explicit
effort to document and disseminate the best practices observed in the
implementation of this project to other schools.
Mexico
Although previous experiences of decentralization at the school level in
Mexico have been implemented (Schmelkes, 2001; Gertler et al., 2005), the Quality
Schools Program (Programa Escuelas de Calidad, or PEC) can be considered the
most extended SBM initiative implemented in Mexico.
Among the original goals of this program was the promotion of participatory
planning at the school level, increasing community participation in the decision-
making process, reducing the administrative burden for participating schools, and
providing technical support to participating schools in order to improve their
performance. The PEC is based in four different types of interventions: provision of
school grants, support for increasing parental involvement, ongoing professional
development programs and continuous management support from central authorities.
The main assumption of PEC was that educational outcomes would improve if
organizational cultures within schools are changed, thus suggesting that schools
should enjoy more freedom to decide their own activities and priorities if any
improvement should be expected in an overwhelmingly centralized educational
system like the educational system in Mexico. The extended school freedom should
be complemented by an effort to involve different community actors, such as parents
and municipal authorities, whose collaboration in the definition of priorities would be
expected, as well as in the selection of possible solutions to the main problems
affecting the operation of their schools. Furthermore, this program was designed to
create incentives in order to increase monetary contributions from municipalities and
parents.
To participate in this program, principals from specific areas selected by
central authorities must submit school improvement plans (based on the contributions
and ideas from all school actors), and review these plans annually. These plans
should include a diagnosis and a list of possible actions that will address the most
severe problems observed in the operation of the school, and this will be evaluated
by a technical committee at the state level. If approved and selected in a competition
against similar schools, selected schools will get funds to implement their plans.
About the impact of this initiative, at least two studies have identified effects of
this program on dropout and failure rates (Skoufias and Shapiro, 2006), as well as in
dropout rates only (Murnane, Willet, and Cardenas, 2006).
Nicaragua
In the early 1990’s, Nicaragua implemented the “Autonomous Schools
Program” which aims to increase “community participation in educational
administration, obtain financial resources for schools beyond government funding,
and increase efficiency in the use of human and financial resources” (Parker, 2005, in
Santibañez, 2006).
Just like in similar programs, the delegation of responsibilities to school
councils included administrative functions like maintenance of school facilities, but
unlike other SBM initiatives implemented in this region, it also included a key aspect
in the administration of educational systems: the faculty of hiring or firing the school
principal (Santibañez, 2006).
There are three main aspects that should be pointed out regarding the target
population and, therefore, the characteristics of the beneficiaries of this program. In
first place, that this initiative started only with secondary schools, and included
primary schools later (Di Gropello, 2006). In second place, that until 2002
“autonomous schools could charge obligatory fees to parents” (Santibañez, 2006).
Finally, that it has two different operation models, rural and urban, a significant
difference from other SBM initiatives. In the case of urban schools, administration is
delegated at the school level, and in the case of rural schools, administration is
delegated at the municipal level, “where a centrally located school performs the
management functions and operates the bank accounts for the school cluster (King,
Özler, and Rawlings 2001; Fuller and Rivarola 1998)” (Di Gropello, 2006).
El Salvador
EDUCO is a prominent school-based management experience in Latin
America, followed as a model in the implementation of other decentralization
programs in countries of the region. It was designed with the aim of increasing
access to basic education by empowering communities in rural regions where
schools were inexistent or deficiently operated.
Since 1991, this program has relied in the operation of community educational
associations or “Asociaciones Comunales para la Educación” (ACE), as the
participatory organizations that deliver educational services in rural communities of El
Salvador.
The type of activities usually delegated to schools in most of the SBM
initiatives implemented in the region (administration of school budget, school
maintenance, and acquisition of educational materials) are also responsibility of the
ACE’s (MOE, 2006). In addition, although an ACE has no responsibility over
pedagogical issues, it is responsible for hiring, monitoring, and firing teaching staff
(unlike experiences in other countries like Mexico), mainly because designers of this
program were trying to address the problem of “triangulation”, a situation usually
observed in centralized educational systems: although teachers work in a community,
they are hired and evaluated by central authorities, thus resulting in deficient
monitoring and the lack of community satisfaction, something usually ignored by
teachers (Meza, n.d.).
EDUCO has some features not observed in other SBM interventions in Latin
America, such as having among its goals the articulation of curriculums of preschool
and primary education, as well as improving health conditions of students (Meza,
n.d.), although recent information about results on these aspects has not been
published.
Furthermore, one specific intervention, the “special education classroom”,
indicates that this program is also focusing on addressing other issues of educational
inequalities, different to aspects of internal efficiency. An interesting aspect, however,
is that although applicant schools must be in rural regions and have a minimum of
potential students, communities still must apply voluntarily to be considered in this
program. Therefore, communities must already have some conditions in order to
operate EDUCO schools, and that might as well determine that the target population
might not be the neediest communities, but those organized enough to participate in
the application process. This is similar to other programs implemented in the region.
Impact of SBM initiatives in LA on learning and inclusion of students
Information about impact of school-based management programs is relatively
recent and still scarce, given that only a third generation of studies about school-
based management, “emerging in the late 1990’s and gathering momentum in the
early 2000’s, coincides with a pre-eminent concern for learning outcomes and the
development of a strong database” (Caldwell, 2005).
The lack of “research-based evidence of either direct or indirect effects of SBM
initiatives on students” pointed out a decade ago by Leithwood and Menzies (1998, in
Abu Duhou, 1999), has not been an obstacle for the expansion of SBM in recent
years (see Table One), although a recent interest on the evaluation of SBM initiatives
(The World Bank, 2007; Gertler et al. 2007) and the analysis of documented effects
(Santibañez, 2006; Di Gropello, 2006), may suggest that providing reliable empirical
evidence is essential to continue the sustainability and further expansion of SBM
initiatives in developing countries, as well as addressing questions about other
concerns like equity, perhaps suggesting the need for a fourth generation of studies,
considering Caldwell’s’ classification.
One of the main challenges regarding the impact evaluation of SBM initiatives
in Latin America, is that some of these programs were implemented under unusual
conditions, like in the case of the postwar setting in El Salvador or the devastation
due to Hurricane Mitch in Honduras (Gertler et al., 2007), where impact evaluations
might not be considered as a priority. In other cases, impact evaluation was simply
not considered in the design stages and the collection of relevant information in order
to estimate the overall impact and identify some of the mechanisms explaining effects
on outcomes, was delayed or plainly ignored.
Table One. Expansion of SBM programs (Adapted from Corrales, 2006)
Country Year Year
El Salvador 1991 2003
Number of Schools 236 2,047
Number of Students 8,416 362,880
Nicaragua 1994 2000
Number of Schools 915 4,165
Number of Students 300,771 653,346
Guatemala 1996 2003
Number of Schools 477 4,162
Number of Students 55,000 386,038
Honduras 1999 2003
Number of Schools 500 1,843
Number of Students 22,350 69,000
Mexico 2001 2003
Number of Schools 2,239 15,578
Number of Students 732,000 3,700,000
Initial year in each case reflects only availability of information.
Although there have been several creative and thoughtful efforts to overcome
the lack of reliable data and evaluate the impact of SBM interventions (Jimenez &
Sawada, 1998; Parker, 2005, in Di Gropello, 2006; Di Gropello, 2006; Skoufias and
Shapiro, 2006; Murnane et al. 2006; Ponce, 2006; Gertler, Patrinos and Rubio-
Codina,2005; Carnoy et al., 2008;), unfortunately in most of these studies, access to
evidence on issues like differentiated effects across populations or the adequacy of
targeting strategies (two key aspects necessary to reduce unfair educational
inequalities), has been limited.
A recent literature review conducted by Santibañez (2006) identified the
effects of the main SBM initiatives in Latin America (see table one). On her
comprehensive review, Santibañez finds that “SBM reforms, particularly in Central
America, have […] improved access and coverage in rural areas and poor
communities”.
In addition, she finds that “the empirical evidence for dropout and repetition
rates suggests SBM reforms do improve these” and that “evidence on student
achievement is mixed and in most cases, studies reporting increases or decreases in
this measure are using weaker designs. However, the few studies that use stronger
methodological strategies find […] very modest to no differences in test scores in El
Salvador, Honduras, and Nicaragua”. Additional findings on this matter suggest the
existence of positive effects in schools in Ecuador (Ponce, 2006), although the SBM
model implemented in that country includes regional management components and
these results should be examined by further studies.
A government report documenting 15 years of EDUCO experience (Ministerio
de Educación, 2006) provides additional information about students’ academic
results in EDUCO schools, and a different perspective about how performance of
SBM programs is evaluated by national governments. While comparing students’
academic performance across different types of schools in El Salvador, the authors
conclude that “the best 3,199 students in EDUCO schools are above 313,627
students” in the whole country on Language and Mathematics national test scores. 2
Although this information alone may indeed show that a small percentage of
students in some of the EDUCO schools can get academic results comparable to
2
Students ranked as “very high” in the performance level in national test scores.
other outstanding students in private and urban schools in El Salvador, it is
impossible to sort out school effects from the effects students’ individual
characteristics may produce. However, a closer look at the distribution of students
across performance levels (see figure one) shows that EDUCO schools have on
average a higher percentage of students in the lower performance levels (above the
national average) compared to other rural, urban and private schools. Although this
does not necessarily imply that EDUCO schools are not effective (the situation
described could in fact be the result of an effective targeting strategy), it is clear that
pedagogical challenges for this type of schools might be more complex than for the
rest of the Salvadoran schools.
Table Two. Evidence of SBM Effects on Student Outcomes (Santibañez, 2006)
Outcome Country SBM Impact
Overall finding: Positive impact
Access El Salvador Positive: Increased enrollments in rural and poor areas.
(increased Positive: Increased enrollments in rural areas.
enrollments) Honduras Positive: Increased enrollments in rural areas; increased
Guatemala attendance of Mayan girls.
Academic Performance
(National Test, 2005)
60
50
40
% of students
EDUCO
Rural
30 Urbano
Privado
Nacional
20
10
0
Very Low Low High Very High
Performance Level
35%
QSP I QSP II QSP III QSP IV QSP V
0.29 0.33
30%
0.25
0.21
25%
0.22
0.20 0.20
20%
0.16
15%
0.10
10%
0.05
5%
0%
Very Low Low Medium High Very High
4.9
4.8 4.74
D ro p o u t R a te
4.69 4.65
4.7
4.61 No-PEC
4.6
4.51
4.5 4.41
4.4 PEC
4.3
1998 1999 2000
Year
Inadequate targeting has also been one of the factors associated with the lack
of expansion of the “Escuelas 2001” program in Argentina (Feldfeber, Jaimovich and
Saforcada, 2004), suggesting as well that deficient targeting may also affect the
sustainability of any SBM intervention.
Variations in institutional capacity across schools
A second aspect to be considered as a challenge regarding the existence of
educational inequalities during the implementation of SBM programs is the natural
variation across schools in terms of the capabilities that parents, teachers, and
principals must have to benefit from SBM programs. This aspect raises concern
particularly because “many of the management-related decisions SBM reforms
involved – especially financing and staffing issues – are intricate and complex”
(Gertler et al., 2007). Furthermore, this aspect may partially explain the limited
parental involvement observed in disadvantaged schools participating in SBM
programs (Coleman, 1998 and Epstein et al., 1997, in Fullan and Watson, 2000).
The lack of parental involvement may have serious consequences as well. As
it has been reported, lack of parental engagement in school activities may result in a
situation where “school committee[s] can become an instrument in the hands of an
elite group, and no increased transparency and accountability will be achieved”
(Gertler, et al. 2007), thus challenging one of the main assumptions of SBM
programs: that in a decentralized setting parents would be able to “influence and alter
school management and change the form of decision-making to favor students”
(World Bank, 2007).
The lack of technical capacity among teachers has also been reported as an
issue in schools implementing SBM initiatives. For instance, in a survey administered
to teachers and principals participating in PEC, 59 % of them considered that
“schools were not adequately organized to focus on student learning” and 31 %
considered that “teachers were not prepared to teach effectively” (Reimers and
Cardenas, 2006). Indeed, improving teachers’ skills seems to be one of the main
goals in several SBM programs (e.g. Brazil, Ecuador, or Mexico), although the limited
evidence available found no benefit of spending on teacher training, at least in the
case of Brazil (Carnoy, 2008).
Two examples would be useful in order to illustrate the significance of having
adequate institutional capacity at the school level, and the possible consequences
that erroneous decisions may have on the quality of instruction. In the case of El
Salvador, evidence provided by Sawada and Jimenez (1999) confirmed that EDUCO
schools hired teachers with less experience. Even though it is clear that selection of
teachers depends on several issues (e.g. salary levels or location of schools), the
fact is that ACE’s were more likely to hire teachers with less years of experience than
those teachers hired for comparable schools. Given that evidence suggests that
under certain conditions teaching experience can be a predictor of teaching quality
(Hanushek et al., 2005), a question to be addressed is whether parents’ decisions
regarding hiring of teachers would result in a diminished school effectiveness.
An additional example is provided by Reimers and Cardenas (2006), who
point out that “the poorest urban schools allocate funds for professional development
programs in a range close to the maximum amount allowed for this type of activities
in the first years of the program, about 20%. In comparison, the poorest rural schools
invest almost 10 times less than urban schools with one year of participation in PEC,
8 times less than urban schools in the case of schools in their second year in PEC,
almost 3 times less than urban schools in the case of schools with 4 years of
participation in PEC and almost 4 times less than urban schools in the case of
schools with 4 years of participation in the program.” (See Table Three).
Just like in the previous example, several reasons may explain these
decisions, but given the challenges schools in marginalized rural regions usually
face, investment in professional development could be a reasonable decision in order
to improve instructional practices.
Disproportionate focus on administration
A list of responsibilities and functions delegated to schools in SBM programs
in Central America (Di Gropello, 2006), serves to exemplify an omission observed in
the implementation of most of the SBM initiatives in Latin America. As can be seen in
Table four, SBM initiatives have focused on issues of control and monitoring
(personnel management, budget and maintenance), with the relative exception of
Guatemala. This could result in a limited delegation of faculties to schools on
pedagogic aspects like adapting curriculums or modifying instructional practices.
Although this condition has been observed in other decentralization efforts, ignoring
pedagogical aspects in SBM programs may result in spending resources “without
having any discernible effect on what students actually learn” (Elmore, 1993).
One of the possible arguments against empowering schools to address
pedagogical issues is that schools may lack the relevant expertise. However, this
could indeed contradict one of the main assumptions of SBM interventions: that
decentralization would “provide a better tailored delivery of services given that it
minimizes information asymmetries”. Indeed, it may also result in providing limited
support in one of the areas school communities identify as a key aspect for the
successful implementation of their projects, given the available evidence that
suggests that teachers and principals in schools participating in SBM programs are
aware of the necessity to address pedagogical issues, as Carnoy (2008) has
observed in Brazil. 3
An additional aspect to be pointed out regarding the delegation of
disproportionate administrative functions to principals in participant schools, is that
“SBM has in several cases made life harder for school principals by increasing their
administrative and managerial workload, to the detriment of their role as a
pedagogical leader (Caldwell 1993; Odden and Odden 1994; Wylie 1996) (Gertler et
al., 2007)”.
Table four. Decentralized functions (adapted from Di Gropello, 2006)
Council Functions EDUCO PRONADE PROHECO ASP QSP
El Salvador Guatemala Honduras Nicaragua Mexico
Personnel Management
3
“In order to improve teaching and learning, teachers and administrators point to the need to organize
and integrate their curriculum, to improve teaching, and to continuously evaluate students.” (Carnoy
2008).
Paying Staff Salaries * * * *
Establishing incentives for
*
teaching staff
Hiring/firing teaching staff * * * *
Supervising and evaluating
* * * *
teachers
Hiring/firing administrative staff *
Pedagogy
Setting classrooms hours by
*
subject
Selecting some textbooks *
School calendar * *
Maintenance and Infrastructure
Building/maintaining school * * * * *
Buying school material * * * * *
Budget
Budget oversight * * * *
Budget allocation * *
Establishing school fees *
This situation is confirmed also by Malen (1990, in Leroy, 2002), who points
out that “principals get exhausted by the demands of participatory processes and are
frustrated with the struggle to retain control over issues perceived to fall within their
purview”. In addition, Meza (n.d.) has also pointed out that in El Salvador,
administrative procedures usually overwhelm teachers and parents, suggesting that
improvements should be made at the central level in order to systematize and
improve monitoring and control procedures.
Support from central governments
According to Leroy (2002), teachers, parents and principals in schools
implementing a SBM program in Haiti considered that central authorities were “not
doing enough to support [their] schools”. Furthermore, from their perspective,
“democratization and empowerment of [school] communities went [...] without the
backing of the central office in terms of technical support”.
Providing adequate support to schools is one of the key aspects in the
implementation of SBM programs, given the necessity for improving the capacity of
parents, teachers, and principals to administer funds, design school plans, increase
accountability, and promote community participation. As Fullan and Watson (2000)
point out, central authorities should realize “that SBM decidedly does not mean
leaving decentralized schools and communities on their own”. Indeed, as this author
suggests, an “external infrastructure” is required to promote capacity building that is
necessary for a successful implementation of SBM reforms.
Establishing an “external infrastructure” represents, then, starting a profound
transformation in the organization of central offices, as well as designing and
implementing efficient monitoring and support systems, considering each school’s
particular needs. Although some positive aspects on this matter have been observed
(Murnane, et al., 2006; Ponce, 2006), a review of the implementation strategies in
Latin America reveals, for instance, that standards for central educational authorities
operating SBM interventions are frequently missing, thus providing limited information
to schools about the interventions central authorities will carry out, in order to support
them during the implementation of their school projects.
Elaboration of school plans and performance agreements by applicant schools
must be linked to the definition and publicity of standards and obligations of
educational central authorities, so that they will be adequately supported. Indeed,
programs like FUNDESCOLA in Brazil have acknowledged the importance of
adapting the participation of central governments, and in recent plans have accepted
“building the capacity of local governments to support continuous improvement in
schooling quality, and promoting the financial, administrative, and managerial
permanence of these reforms” as one of their main strategies, suggesting that
perhaps these activities must be considered from the early design stages of any SBM
initiative to be implemented in this region.
Evaluation process
A common point raised in the studies about school-based management
experiences in Latin America is the limited number of impact evaluations of SBM
interventions. In fact, in a recent document, Gertler, Patrinos and Rubio-Codina
(2007) point out the relevance of conducting solid evaluations of SBM programs while
developing programs, suggesting “six outstanding issues” to be considered in the
design of these evaluations. Out of these issues, two of them seem particularly
relevant for the identification of factors that might compromise equitable access to
learning outcomes during the implementation of SBM programs.
The first relevant issue is the lack of “process evaluations”, or evaluations that
“decompose the SBM intervention into its different components (autonomy to hire
and fire teachers, control over resources, autonomy over school planning and
instruction, etc.) and attempt to identify the effects of each sub-component
separately”, unlike program evaluations that “measure the overall impact of
interventions” considering SBM reforms as black boxes.
Although the lack of information about the effects of SBM reforms represents a
barrier to improving the design of educational policies, the fact that little is known
about which specific component of SBM reforms may impact the performance of
schools restricts the possibility of adapting SBM programs to the particular needs of
disadvantaged schools and children. Although no “silver bullets” exist, and SBM
reforms are known for being demanding to disadvantaged schools, identifying the
effects that specific components of SBM reforms have on school performance would
open opportunities to adapt SBM models to different school conditions, therefore
increasing the effectiveness to reduce or diminish gaps between schools in any
system.
Another relevant issue, closely related to the lack of “process evaluations” is
that “more attention should be paid to the potential for increasing schooling
inequalities as a result of the implementation of SBM reforms”, requiring then “that
SBM evaluations should address heterogeneity issues in a more rigorous and
systematic way in order to inform policymaking on best practices.” Access to limited
information about possible inequalities associated with the implementation of SBM
reforms (for instance the findings about differences in performance described in
Murnane, et al., 2006) clearly represents a challenge for policy makers, who must
then trust on the theoretical assumptions behind SBM (just like any school principal),
implement SBM reforms controlling as much as possible for factors associated with
the existence of inequalities, and then hope for the best. As expected, this situation is
not an ideal condition given that financial resources are scarce, and time constraints
exist.
Final comments
The implementation of decentralization reforms like school-based
management has become a popular option in Latin America, in the search for
improving access in regions where centralized management of schools has proved to
be ineffective.
If conditions like low institutional capacity, the lack of a culture of participatory
planning, differences across schools, and the lack of clear rules for central
governments are ignored, SBM initiatives may likely deepen or reproduce
educational inequalities that policy designers might have been trying to address.
Furthermore, besides understanding the complexity of organizational cultures
at the school level, and how difficult it is to have an impact on instructional practices,
it is also necessary to understand if political cultures and deeply rooted institutions
within central educational systems may affect the implementation of SBM initiatives.
Implementing SBM programs in educational systems that are not used to living under
intensive participatory processes, increased concern for accountability, and school
autonomy, starting these programs may result in additional workload for principals,
frustration among school actors, simulation, lack of results, and wasting of resources.
Just like in any other educational intervention, several risks are associated to
the delegation of faculties, the promotion of participatory policies, and the
modification of governance structures. As the evidence described in this paper points
out, numerous challenges emerge when the number of actors involved in the
administration of schools increases. However, an optimistic perception exists about
the opportunity of improving the operation of any public education system, based on
the fact that policies like SBM remind us about the possibility of effectively supporting
schools.
As Richard Elmore (1993) suggests, in the debate about decentralization “a
central policy question should not be whether to centralize or decentralize authority,
but rather what should not be loosely controlled from any given level of government
and what should be tightly controlled”. Given the challenges observed in the
implementation of SBM interventions in Latin America, reproduction of educational
inequalities must certainly be included among the aspects to be tightly controlled by
central and local educational authorities, keeping in mind the myriad of practices and
innovations that could be observed in schools when they are adequately supported.
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